Dlr-11 NFA Transfers Sample Policy

See Below or Attached

Find attached: Orchid FFLPP Dlr-11 NFA Transfers Sample Policy

Version: 1 2021.07.20

Dealer-11

Sample Policy

NFA Transfers

(To and From FFLs, Government / Military, and Exports)

a.     Overview

·       This document specifies the procedures for:

-      Transferring NFA Firearms to and from FFL / SOTs

-      Transferring NFA Firearms to and from Government Agencies, Law Enforcement Agencies, and the Military 

-      Exporting NFA Firearms

·       NFA firearms are not to be transferred or received without an approved NFA transfer form.  

·       Any NFA firearm received on premises without an approved Form enclosed shall be segregated from other inventory and secured. [employee or department tbd by company] shall be notified immediately.  

b.     Applicable Regulations and Forms

·       ATF Form 4473, Firearms Transaction Record Part I Over-the-Counter

·       ATF Form 3310.4, Report of Multiple Sale or Other Disposition of Pistols and Revolvers

·       ATF Form 3310.12, Report of Multiple Sale or Other Disposition of Certain Rifles 

·       27 CFR 478.124

·       27 CFR 479.84

·       ATF Rul. 2016-2

a.     Reports and Tools

·       Book of Acquisition and Disposition

·       ATF eForm 3 – Application for Tax-Exempt Transfer of Firearm and Registration to Special Occupational Taxpayer 

·       ATF eForm 5 – Application for Tax Exempt Transfer and Registration of Firearm 

·       ATF eForm 9 – Application and Permit for Permanent Exportation of Firearms 

·       ATF eForms System 

b.     ATF eForms System

·       Employees shall submit all Forms 3, 5, and 9 via the ATF eForms system. 

·       Authorized employees are required to register in the eForms system.  eForms will send an approval request to Company’s Responsible Person for approval. Upon such approval employee will be eligible to file NFA Forms via the eForms system. 

c.     Transfers to FFLs of NFA Firearms 

·       Prior to completion and filing of the Form 3, Company shall receive a copy of the transferee FFL’s FFL/SOT. 

·       The Form 3 shall be filed in the eForm system. 

·       No NFA item may be transferred to another FFL/SOT until a Form 3 is approved by ATF.  

·       [employee or department tbd by company] shall be responsible for monitoring the status of Forms 3 processing in eForms. 

·       Once the Form 3 is approved [employee or department tbd by company] shall notify appropriate personnel for release of the firearm(s) for shipment.  

·       A copy of the approved Form 3 shall be enclosed in the shipment. 

·       A copy of the approved Form 3 shall be filed in the Form 3 Disposition folder. 

d.     Transfers to Government Agencies, Law Enforcement, and Military of NFA Firearms 

·       The Form 5 shall be filed in the eForm system. 

·       No NFA item may be transferred to another FFL/SOT until a Form 5 is approved by ATF.  

·       [employee or department tbd by company] shall be responsible for monitoring the status of Forms 5 processing in eForms. 

·       Once the Form 5 is approved [employee or department tbd by company] shall notify appropriate personnel for release of the firearm(s) for shipment.  

·       A copy of the approved Form 5 shall be enclosed in the shipment. 

·       A copy of the approved Form 5 shall be filed in the Form 5 Disposition folder.

e.     NFA Exports 

·       Prior to filing a Form 9 for export an export permit must be issued by the Department of State or Commerce, as applicable.  

·       The Form 9 shall be filed in the eForm system. 

·       No NFA item may be shipped for export until a Form 9 is approved by ATF.  

·       [employee or department tbd by company] shall be responsible for monitoring the status of Forms 9 processing in eForms. 

·       Once the Form 9 is approved [employee or department tbd by company] shall notify appropriate personnel for release of the firearm(s) for shipment.  

·       A copy of the approved Form 9 shall be enclosed in the shipment. 

·       If the firearm will be transferred to another entity who will thereafter export the firearm, documentation stating the transfer is part of the exportation process must be submitted with the Form 9. 

·       If the firearms are exported by other than parcel post, two copies of the permit and Shipper’s Export Declaration and a copy of the export license issued by State or Commerce must be submitted to the District Director of US Customs and Border Patrol at the port of export and must precede or accompany the shipment.  CBP will submit a copy to ATF as proof of export. 

·       If the firearms are exported by parcel post, one copy of the permit must be presented to the postmaster at the office receiving the parcel.  They will return the permit to the transferor.  A copy shall be made and one copy filed in the Form 9 Disposition folder.  The other copy shall be submitted to ATF as proof of export. 

f.      Receipts of NFA Firearms From FFL / SOTs

·       NFA firearms are not permitted to be received from other FFL / SOTs without an approved Form 3. If an NFA firearm arrives without an approved Form 3 [employee or department tbd by company] shall be notified immediately.  

·       When an NFA firearm arrives at the premises, the Form 3 shall be provided to [employee or department tbd by company] for filing. 

g.     Receipts of NFA Firearms from Government Agencies, Law Enforcement, and Military 

·       NFA firearms are not permitted to be received from government entities without an approved Form 5. If an NFA firearm arrives without an approved Form 5 [employee or department tbd by company] shall be notified immediately.  

-   [employee or department tbd by company] shall contact the government or military entity and request they file a Form 5 transfer form to properly register the firearm to Company’s license. 

·       When an NFA firearm arrives at the premises, the Form 5 shall be provided to [employee or department tbd by company] for filing.

·       Completing NFA Forms 3, 5, 9 – [employee or department tbd by company]

·       Filing NFA Forms 3, 5, 9 – 5 [employee or department tbd by company]